WARN Notice Filing Instructions

Before You File

Before you submit the WARN notice, can the Shared Work program help your business? The Shared Work program is designed to help employers manage business cycles and seasonal adjustments while helping to spare their workers the hardships of full unemployment. Learn more at dol.ny.gov/shared-work-program-0.

If your layoff/closure was due to Foreign Trade, please visit the U. S. Department of Labor’s Employment and Training Administrations site to determine if you should file a Petition for Trade Adjustment Assistance. You must also submit your WARN notice to the New York State Department of Labor.

 

 

WARN Notice Filing Instructions

It is strongly encouraged that employers submit their WARN by using the WARN Portal.

The portal is accessed by using a personal NY.gov account. If you do not have a personal NY.gov account, you will need to “Create an Account” to access the portal. Learn more about my.NY.gov

Before you start, you must have all the required information and documentation. All requirements are listed below. If you do not have all the requirements needed, you may not be able to save your submission. If you are inactive for more than thirty (30) minutes while submitting, you will time out of the system and your progress may not be saved.

The submission is divided into three parts. You will be able to save your information at the end of each part.

 

 

Part 1: Employer Information

This part will collect contact information, business information, and details about the layoff/closure event. Be prepared to complete:

  • WARN Submitter Contact Information (the person submitting the WARN in the portal):
    • Submitter name, address, phone number, and email
  • Public Contact Information (this person will be displayed on the WARN Public Notice):
    • Public Contact name, address, phone number, and email
  • Business Liaison Contact Information (this person will be contacted by NYS DOL Regional Rapid Response Coordinator):
    • Business Liaison name, address, phone number, and email
  • The business’s name
  • The business’s Doing Business As, or DBA
  • The business’s federal employer identification number, or FEIN
  • The business’s industry type
  • The specific reason for the layoff or closure
  • If the layoff or closure is the result of foreign trade. To learn more, visit  https://dol.ny.gov/trade-adjustment-assistance
  • Layoff/Closure start date
  • Layoff/Closure end date*

*When layoffs are to occur on a predetermined schedule, you enter the date the first layoff will occur and the date the last layoff/closure will occur. You will have to explain the schedule in detail in the written notice, pursuant to section 921-2.3 of NYS WARN Regulations.

  • Did you give 90-days’ notice at all impacted sites?
    • If yes, you will indicate in the portal
    • If no, you must upload a detailed statement on company letterhead and proof of the Notice Exception* you are claiming:
      • Faltering Company
      • Unforeseeable Business Circumstances
      • Natural Disaster, or
      • Strike or Lock-out

*921-6.1 Exceptions, generally. The State WARN Act allows certain exceptions under which the 90-day notice period may be reduced. The employer bears the burden of proof to show that the requirements for an exception have been met, i.e., when the employer asserts a defense in mitigation or exemption from the requirements of the Act or this part, the employer must provide documentation in support of the claimed exception. In all circumstances set forth below, the employer must provide as much notice as possible in advance of the plant closing, mass layoff, relocation, or covered reduction in work hours to all required parties, and also include a statement of the reason for reducing the notice period and a factual explanation of the basis for claiming entitlement to such reduced notice period. The exceptions to the standard notice required under the Act and this Part include those set forth in Sections 921-6.2 through 921-6.5 of this Part.

 

Required Uploads
  • Notice Exception Claim statement and proof, if claiming.
  • Affected Worker List: You must provide one list of ALL affected workers across ALL impacted sites. You must use the template provided, submit as an excel or .csv file, and include:

 

Required Fields
  • Impacted site street address line 1
    • Make sure the street address information is consistent by site
  • Impacted site street address line 2, if needed
  • Impacted site city
  • Impacted site state
    • Capitalized 2-letter abbreviation
  • Impacted site zip code
    • Only provide 5-digit zip code
  • Affected worker’s first name
    • List each affected worker separately
  • Affected worker’s last name
  • Affected worker’s job title
  • Average hours affected worker worked per week
    • Must be a number; up to two decimal places allowed i.e., 40.25, 50.5, 30
  • Separation Date
    • Format: MM/DD/YYYY
  • Affected worker’s mailing street address
  • Affected worker’s mailing city
  • Affected worker’s mailing state
    • Capitalized 2-letter abbreviation
  • Affected worker’s mailing zip/postal code
    • Only provide 5-digit zip code
  • Affected worker’s union name, if applicable
  • Affected worker’s last 4 digits of SSN *Do not include full SSN*
    • Must be 4 digits; do not send a full SSN

 

Optional Fields
  • Affected worker’s email address
  • Affected worker’s mobile phone number
    • Must be 10 straight digits (i.e., 5555551111)
  • Affected worker’s wage
    • Must be numeric value with no dollar sign (i.e., 15, 14.75, 18.50)
  • Affected worker’s compensation type (optional)
    • Enter Hourly, Salary, or Commission-based. NOTE: This field is case-sensitive so please enter one of these three options exactly as displayed on template.

 

 

Part 2a: Impacted Site Information

This part will collect information for each site impacted. You will complete this part as many times as needed to account for all impacted sites. You will be able to save after you complete a site’s information. Be prepared to complete:

  • The address of the employment site(s) where the closing or layoffs will occur
  • The number of employees and the number of affected workers at each site
  • Local Workforce Development Board (LWDB) name for the site’s local area
  • If the layoff or closure at each site is the result of foreign trade
  • The date the affected workers were or will be notified
  • The method the affected workers were notified (work email, personal email, physical mail, hand delivered in person)
  • The date each required notice was sent to the required officials
  • Union information, if applicable:
    • The name of each union representing affected workers
    • The name, phone number, email address, and mailing address of the chief elected officer of each union
    • The existence of bumping rights 

 

 

Part 2b: Required Uploads

This part will prompt you to upload the required notification to each official by site. If you have more than one impacted site, we recommend saving the notices on your computer by impacted site name to make the upload process easier. Be prepared to upload:

  • Samples of the following correspondence on company letterhead for each impacted site:
    • Notice to employees
    • Notice to union(s), if applicable
    • Notice to required local officials (Chief Elected Official, Local Emergency Responders, School District, Workforce Development Board)
    • A signed copy of the letter sent to the NYS DOL Commissioner

 

 

Part 3: WARN Submission

This part will prompt you to finalize and submit your information. Carefully review your information. Once you submit, you will not be able to edit any fields or add/remove any uploads.

 

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